Results for "fiduciary"

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President Obama's SEC nominees are being held up by fellow Democrats

April 8, 2016

Democrats are blocking President Obama's SEC nominees in a cat fight over the disclosure of political spending. Awkward. Fairly unusual opposition to Mr. Obama. Forcing the minimum wage up to $15 an hour sounds great in theory. In practice?...

Donald Trump's transition team says scrapping Dodd-Frank is job one

November 11, 2016

On Day 2 as president-elect, the Donald Trump transition team is already talking about tearing apart Dodd-Frank. This will not sit well with Elizabeth Warren. With Donald Trump at the helm some ETFs will stand out in the crowd. GLD, IGF, RSX,...

Vanguard, Fidelity bank on robos, low-cost strategies to ride DOL fiduciary rule wave

April 7, 2016

In the shakeout over the Department of Labor's fiduciary rules for retirement accounts, mutual fund giant Vanguard is a clear winner — but archrival Fidelity won't be hurting, either. The rules, announced Wednesday, require that brokers act...

DOL rule could help small company retirement plans

April 5, 2016

Business owners who offer retirement plans could be one of the unexpected beneficiaries of the Department of Labor's fiduciary rule, which is expected to be announced Wednesday. Ron Rhoades, a lawyer and financial planner in Bowling Green, Kentucky,...

OMB completes review of DOL fiduciary rule

April 4, 2016

The Office of Management and Budget has completed its review of the Labor Department's fiduciary rule, paving the way for the imminent release of the final regulation. The OMB concluded its regulatory review of the fiduciary rule on Sunday,...

The rollover irony of the DOL's proposed fiduciary rule

March 30, 2016

When the Labor Department proposed its fiduciary rule last year, stakeholders identified rollovers as one area that could be thrown into upheaval. It's easy to see why — in the rule's current iteration, the act of recommending that a retirement...

The implications of the DOL retirement study for plan advisers

March 17, 2016

The government announcement seemed innocuous and fairly bland. On Feb. 29, the Department of Labor published one of those arcane agency notices in the Federal Register. The DOL was seeking public comment on a proposed multiyear series of household...

Adviser compensation, rollovers most complex factors under DOL fiduciary rule

October 25, 2016

Determining adviser compensation and recommending rollovers from 401(k) plans present the greatest challenges for broker-dealers and their representatives under the Labor Department's fiduciary rule, according to Fred Reish, a partner at Drinker...

First set of FAQs on fiduciary rule coming 'very soon,' but deadline extension 'not likely': DOL's Borzi

October 25, 2016

The Labor Department is poised to release its first wave of answers to frequently asked questions about its fiduciary rule “very soon,” Phyllis Borzi, assistant secretary of labor at the department's Employee Benefits Security Administration,...

Fidelity study says half of RIAs foresee negative business impact due to DOL fiduciary rule

March 14, 2016

Half of registered investment advisers perceive there will a negative impact on their business as a result of a proposed Labor Department rule to raise investment-advice standards on retirement accounts, according to a new study conducted by...

Commonwealth Financial eliminates commission-based retirement products in wake of DOL rule

October 24, 2016

Commonwealth Financial Network late Monday said it would stop offering commission-based products in IRAs and qualified retirement plans, making it the latest BD to move more decidedly toward to an advisory platform to avoid what some see as...

DOL fiduciary rule won't help some 403(b) retirement plans

October 21, 2016

Through its fiduciary rule, the Department of Labor is attempting to rein in conflicted investment advice and reduce costs for retirement savers. However, there's a corner of the retirement market plagued by the sort of high fees and sales practices...

Perez tries to win over Democrats skeptical of DOL fiduciary rule

February 24, 2016

Labor Secretary Thomas Perez addressed a meeting of House Democrats on Wednesday to update them on progress of a pending rule that would raise investment advice standards for retirement accounts. But he hasn't yet won over some Democratic lawmakers...

How brokers can navigate consolidation in the B-D industry

February 4, 2016

Financial advisers today face more uncertainty and potential headwinds than ever before — the Department of Labor's pending fiduciary ruling, rising technology and compliance costs, and increased regulatory scrutiny are just a few of the significant...

IBDs trumped by Obama on DOL fiduciary, but vow to fight on

January 26, 2016

Thousands of motivated independent broker-dealers are an opposing force to the Labor Department's fiduciary rule, but they have met an immovable object: President Barack Obama.  That doesn't mean they're giving up on last-ditch efforts to upend...

Institute for Fiduciary Standard begins program to hold advisers publicly accountable

September 19, 2016

The Institute for the Fiduciary Standard has started a program for financial advisers that's designed to demonstrate they're adhering to best practices when engaging with investors. Advisers who participate will publicly communicate their commitment...

DOL fiduciary rule's unintended consequence: higher fees for investors

September 16, 2016

As broker-dealers adjust to the new Department of Labor fiduciary rule by instituting uniform commissions on a wide swath of investments, investors could be faced with higher prices on some investment products. LPL Financial, the nation's largest...

Why you should still be worried about big-bank failures

September 16, 2016

The risks of big banks failing might be greater now than it was leading into the financial crisis. That should get Elizabeth Warren's attention. A “nontrivial probability.” To all the index junkies out there, here are some arguments in support...

DOL fiduciary rule death leaves 401(k) advisers in legal 'grey area' with rollovers

August 9, 2018

It's no secret that the broad financial industry despised the Department of Labor fiduciary rule. The regulation, which lived a short while before dying in court, upended the status quo with respect to retirement savers, cracking down on brokers'...

New bills aim to stop DOL fiduciary rule

December 18, 2015

Bipartisan lawmakers introduced bills Friday that would stop a Labor Department proposal to strengthen investment advice rules for retirement accounts and replace it with a standard written by the legislators. The bills would require financial...

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